Series 24 Jobs
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Search Results - Series 24 Jobs
Storm2-Dallas-
examinations, investigations, enforcement matters and enterprise remediation.
/n
• Proven leadership across General Compliance, AML and Trade Surveillance, directly or through senior compliance leaders.
/n
• FINRA Series 7 and Series 24 are required. Series 3...
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Blue Owl Capital Inc.-Short Hills-appcast.io-
Ability to manage and develop a dynamic team across complex responsibilities and rapid firm growth.* FINRA Series 24 required The base annual salary range for this New Jersey based position will be $250,000 to $275,000. Actual salary offered...
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moomoo-Newark-
SQL
• Python
• Tableau
• Power BI
• Case Management & AML Monitoring Systems
Licenses & Certifications
Preferred:
• FINRA Series 7
• FINRA Series 24
• CAMS (Certified Anti-Money Laundering Specialist)
• CFE (Certified Fraud Examiner)
• CFCS...
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Hamilton (NJ)-rockco.com-
Experience with retail wealth management, brokerage products, advisory programs, alternative investments, structured products, and/or branch office operations preferred.
• FINRA Series 7 and Series 24 or other relevant securities licenses preferred...
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moomoo-Trenton-
SQL
• Python
• Tableau
• Power BI
• Case Management & AML Monitoring Systems
Licenses & Certifications
Preferred:
• FINRA Series 7
• FINRA Series 24
• CAMS (Certified Anti-Money Laundering Specialist)
• CFE (Certified Fraud Examiner)
• CFCS...
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Des Moines-principal.com-
and/or large teams or comparable experience.
• General Securities (Series 7) and General Securities Principal (Series 24 or Series 9/10) registrations required
• Must be a strategic thinker and have strong presentation, verbal, and written communication skills...
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moomoo-Jersey City-
SQL
• Python
• Tableau
• Power BI
• Case Management & AML Monitoring Systems
Licenses & Certifications
Preferred:
• FINRA Series 7
• FINRA Series 24
• CAMS (Certified Anti-Money Laundering Specialist)
• CFE (Certified Fraud Examiner)
• CFCS...
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Houston-icims.com-
FINRA Series 6 or 7
• FINRA Series 63 or 66
• FINRA Series 24
Benefits
Northwestern Mutual Houston is committed to building a team that loves what they do and creating a work environment that supports long-term career growth. The compensation package...
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Michael Page-New York-michaelpage.com-
or obtainable within six months; Series 24 required or obtainable within twelve months.
• Familiarity with regulatory filings such as Form ADV, Form PF, and Form BD.
• Excellent communication, organizational, and analytical skills.
• Ability to build strong...
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1 similar job: International
West Des Moines-sammonsfinancialgroup.com-
and a consistent approach to documentation and follow-through.
• Proficiency with Microsoft Office applications and the ability to learn compliance monitoring, surveillance, and regulatory filing systems.
• Series 7 and Series 24 preferred; Series 6 and Series 26...
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moomoo-Jersey City-workable.com-
multiple business and control functions.
Licensing Requirements
• FINRA Series 7 – Required
• FINRA Series 24 – Required
• FINRA Series 3 – Strongly Preferred
• FINRA Series 4 – Preferred
Knowledge and Skills
• Comprehensive knowledge of the U.S...
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Lansing-principal.com-
Series 7 and 63 or equivalent, Series 24, 65 and/or 66 as required by applicable state law to become IAR with Principal Securities, Inc.
• Refer to Principal Advisor Network Licensing/Exam Policy for the time frame allowed to obtain the required licenses...
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Tulsa-tiptopjob.com-
or equivalent combination of education and experience. Completed or working towards completion of a FINRA license (e.g., Series 7, Series 66, Series 24).
• Working knowledge of Compliance regulations for financial institutions, registered entities...
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Houston-icims.com-
team.
Licenses/Certifications
• Active and valid FINRA Series 7 required.
• Active and valid FINRA Series 9/10 and Series 63 registrations required, or the ability to obtain required registrations as applicable.
• Active FINRA Series 24, 4, 53, and 63...
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moomoo-Dallas-workable.com-
and financial crime controls applicable to broker-dealers.
• Experience working in complex, highly regulated financial services environments.
Licensing Requirement
• FINRA Series 7 License – Required
• FINRA Series 24 License – Required...
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